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Auditing conformity, performance and effectiveness - eLearning

This course is available in:
Arabic, Chinese (Simplified), Deutsch, English, Español, Français, italiano, Japanese See options

Course overview

We use AI-powered translation for languages other than English

This e-Learning course is for individuals who need to conduct effective conformity, performance and effectiveness audits. It can also serve an essential bridging course for existing ISO 9001 Lead Auditors.

course is applicable to all ISO 9001-based sector standards

  • ISO 9001 – general manufacturing/service

  • AS9100 – aerospace and related defence

  • AS13100 – aeroengine suppliers

  • IATF 16949 – automotive and motorsport

  • AQAP 2110 & AQAP 2310 – defence (NATO/UK MOD) supply chain

  • IRIS (ISO 22163) – global rail supply chain

TEC have packaged everything needed into this practical e-Learning course to ensure that participants will feel confident to plan, prepare, perform and report the results of audits focused on ISO 9001-based sector-specific standards using a ‘process approach' and 'risk-based thinking’ – in the same way as the Certification Bodies (CBs).

Particular attention is given to auditing top management and the evaluation of process effectiveness (PEARs), customer satisfaction and supplier performance by adopting the P-D-C-A cycle.

downloadable (pdf) Delegate Manual is included with this e-Learning course

Course details

Throughout the e-Learning course you will need to make reference to your personal copy of a relevant sector-specific standard (or ISO 9001). No other standards/guidance documents are required.

The course is delivered as an online e-Learning module via TEC's learning management system (LMS) platform. Within this e-Learning course, the following sections are covered:

Auditing-related terms, definitions and methodologies

  • What is an internal audit?

  • Explanation of audit-related terms

  • Test: explanation of audit-related terms

  • Understanding interested parties and their requirements

  • Guidelines and Standards relating to auditing

Relationship between elements of the QMS

  • Understanding QMS processes

  • Test: identifying types of QMS process

  • Examples of QMS process types

  • Visualizing QMS processes – sequence and interaction

  • Test: evaluating an organization’s description of its QMS processes and their sequence and interaction

QMS business benefits

  • Understanding the organization and its context

  • Test: Organization purpose, strategic direction & scope

  • Audit questions focused on purpose, strategic direction & scope

  • Benefits of a formal QMS

  • Test: identifying the benefits of a formal QMS

QMS documentation

  • AS9100 QMS documentation requirements

  • Policy ~ Processes ~ Procedures

  • Identifying ISO 9001 need for documented information

  • Test: identifying ISO 9001 need for documented information

  • Determination of the processes needed for the QMS

  • Test: defining policy, processes & procedures

Auditing using a 'process-based' approach

  • Deriving process-based audit questions from applicable audit criteria

  • Deriving audit questions from audit criteria

  • Test: deriving audit questions from audit criteria

  • Turtle diagram – visualization tool for process-based QMS internal auditing

  • Test: identifying the ‘elements’ of a Turtle diagram

  • Deriving process-based audit questions from Turtle diagram ‘limbs’

  • Test: mapping audit questions to Turtle diagram 'limbs'

Content and structure of ISO 9001 referring to the P-D-C-A cycle

  • ISO 9001 content: clauses and requirements

  • ISO 9001 structure: referring to the P-D-C-A cycle

  • Test: Locating requirements for OPERATION, SUPPORT and ANCILLARY processes

Understanding and auditing the ‘effectiveness’ of a QMS

  • Auditing QMS ‘effectiveness’

  • Requirements for QMS ‘performance’

  • Test: locating specific requirements for monitoring

  • Auditing process effectiveness – the ‘PEM’

  • Conducting an effectiveness audit

  • Test: scoring process effectiveness – the ‘PEAR’

Auditing conformity of a QMS

  • Understanding ‘conformity’ with QMS requirements

  • Test: locating ISO 9001 requirements for auditing purposes

  • Requirements for OPERATION processes

  • Test: locating ISO 9001 clauses applicable to OPERATION processes

  • Test: auditing MRB actions with customer-supplied nonconforming product

  • Requirements for SUPPORT processes

  • Test: locating ISO 9001 applicable to SUPPORT processes

  • Requirements for ANCILLARY processes

  • Test: locating ISO 9001 applicable to ANCILLARY processes

Auditing performance (P-D-C-A)

  • Quality objectives define QMS ‘performance’

  • Test: understanding quality objectives

  • Auditing quality objectives and the P-D-C-A cycle

  • Test: auditing customer satisfaction

  • Test: auditing supplier performance

Auditing risk-based thinking

  • Understanding/auditing risk-based thinking

  • Auditing risk-based thinking – “things to consider” ~ ISO 9001 clauses

  • Exercise: auditing risk-based thinking – “things to consider” ~ ISO 9001 clauses

  • Identifying and auditing risk sources and related methodologies

  • Test: operation process risks and things to look for

Audit planning

  • Audit planning considerations

  • Identifying ‘audit trails’

  • Test: establishing an internal audit plan

  • Different audit methods

  • Test: identifying different audit methods

  • Auditing the planning of an internal audit program

  • Guidance for estimating adequate time to conduct a full internal audit program

  • Test: estimating the time to conduct a full QMS internal audit

  • Justifying an audit program

  • Test: auditing the internal audit program

  • Planning and conducting a remote audit

Creating an audit work document

  • Creating an audit work document – format and contents

  • Personal assignment: creating an audit work document

  • Creating an audit work document from a Turtle diagram

  • You’re now ready to undertake an internal audit!

Conducting an opening meeting

  • Purpose of an opening meeting

  • Agenda items for an opening meeting

  • Personal assignment: creating an opening meeting agenda

  • Conducting an opening meeting

  • Test: opening meeting dos & don'ts

Performing the internal audit

  • The ‘evidence-based approach’ to auditing

  • Audit sample size determination

  • Test: choosing an appropriate sample focus (operators)

  • Test: choosing an appropriate sample criteria (POs – purchase orders)

  • Test: choosing an appropriate sample size (FAIRs – First Article Inspection Reports)

Managing interviews and recording evidence

  • Format and style of audit questions

  • Test: turning closed questions into open questions

  • Building rapport with the auditee

  • Auditing top management ~ “don’t be intimidated!”

  • Personal assignment: auditing top management and management review*

  • Collecting, evaluating, and recording objective evidence

  • Audit process summary – auditor & auditee activities

  • Test: dealing with auditee disagreements

Evaluating audit evidence and creating effective NCRs

  • Criteria for determining nonconformities

  • Reporting nonconformity using a nonconformity report (NCR)

  • Test: sections of the 'NCR Template'

  • Recording multiple instances of nonconformities on a single NCR

  • Test 1: identifying the applicable clause and formulating an effective NCR

  • Test 2: identifying the applicable clause and formulating a effective NCR

  • What if there’s insufficient evidence to determine – conformity? Or nonconformity?

  • Grading NCRs

  • Test: grading NCRs (minor/MAJOR)

The ‘mock’ audit (scenarios)

  • Evaluating simulated audit scenarios

  • Test 1: Simulated audit scenario – risk-based thinking

  • Test 2: Simulated audit scenario – corrective action process

  • Test 3: Simulated audit scenario – job descriptions

Preparing for, and presenting, a closing meeting

  • Reviewing the audit findings and preparing conclusions

  • Conducting closing meeting

  • Personal assignment: creating a closing meeting agenda

Reporting the audit results

  • Audit report purpose and content

  • CB audit report contents

  • Test: Key items in the internal audit report

Conducting audit follow-up

  • Reminder: correction vs. corrective action

  • Responsibility for corrective actions

  • Test: NCR terminology and actions

  • Verifying the effectiveness of corrections and corrective actions

  • Test: verification of actions/corrective actions

Auditor selection, competence, and personal qualities

  • Responsibility for the internal audit program

  • Auditor competence – methodology and sector/discipline

  • Auditor competence – methodology

  • Auditor competence – sector/discipline

  • Selection of people for internal auditors

  • Quiz: identifying internal ‘auditor qualities’

Each section of this e-learning course incorporates Tests and Personal assignments to ensure student understanding. Automated tutor hints/specimen answers are also provided.

On successful completion of the course and its tests/exercises, you can download your Training Certificate immediately.

Qualifications & benefits

The benefits of e-learning are numerous; not only are they extremely cost-effective but they provide students with convenience and flexibility as they embark on their learning journey.

The Training Certificate can be downloaded immediately on completion

You can complete your training whenever and wherever you want, and at your own pace – without the pressure of a written examination!

Learners check their own knowledge/skills with structured Test/Personal assignments as-they go with Exercises/Quizzes

Companies do not have to tie-up entire teams at the same time as is the case with conventional classroom-based training.

Buy now

Buy Auditing conformity, performance and effectiveness - eLearning

The course is delivered as an online e-Learning module via the TEC Transnational Ltd learning platform - personalised for learners. Set the number of learners and provide their email addresses at the checkout.

Auditing conformity, performance and effectiveness - eLearning (Arabic)

£195.00
Course language: AE - Arabic

Auditing conformity, performance and effectiveness - eLearning (Chinese (Simplified))

£195.00
Course language: CN - Chinese (Simplified)

Auditing conformity, performance and effectiveness - eLearning (Deutsch)

£195.00
Course language: DE - Deutsch

Auditing conformity, performance and effectiveness - eLearning (English)

£195.00
Course language: EN - English

Auditing conformity, performance and effectiveness - eLearning (Español)

£195.00
Course language: ES - Español

Auditing conformity, performance and effectiveness - eLearning (Français)

£195.00
Course language: FR - Français

Auditing conformity, performance and effectiveness - eLearning (italiano)

£195.00
Course language: IT - italiano

Auditing conformity, performance and effectiveness - eLearning (Japanese)

£195.00
Course language: JA - Japanese

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